DAVID AARON ROCKWELL is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 9384 RIVER OTTER DR, FORT MYERS, FL, 33912.
DAVID AARON ROCKWELL has worked at CETERA ADVISOR NETWORKS LLC since December 07, 2015
Disclosure History
DAVID AARON ROCKWELL has 4 Disclosure Event(s).
Date: July 21, 2015 Category: Regulatory Initiated By: Florida Office of Financial Regulation Allegations: Making a material false statement on the application for registration Resolution: Order SanctionDetails: Sanctions: Denial Broker Comment: on 9/30/2015, the Office of Financial Regulation entered a Final Order adopting the stipulation and consent agreement in the matter of David Aaron Rockwell. Mr Rockwell neither admitted nor denied the findings but consented to the entry of findings by the Office. The Office found that Mr Rockwell made a material misstatement on the applications for registration. Pursuant to the Order,Mr Rockwell's applications for registration as an associated person (AG and RA) of Cetera Advisor Networks, LLC are denied without prejudice to reapply no earlier than November 16, 2015
Date: May 24, 2013 Category: Criminal
Date: July 20, 2009 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: August 16, 2003 Category: Criminal Charges: Police officer-assault/resisting/obstruction Disposition: Dismissed Broker Comment: Charged with obstruction for not taking a field sobriety test. Charges were dismissed.
More Information
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